EX-99 3 endeavr.txt EXHIBIT INDEX Exhibit A: Attachment to item 77o: Transactions effected pursuant to Rule 10f-3 ------------------------------------------------------- Exhibit A: Endeavor Series Trust Schedule B 10f-3 Report - Affiliated Underwriters INFORMATION WILL BE DISPLAYED IN THE FOLLOWING ORDER: ISSUER TRADE DATE CATEGORY(1) 3 YRS OPERATIONS SELLING BROKER SHARES PURCHASED PURCHASE PRICE PER SHARE % OF ISSUE (2) ENDEAVOR ENHANCED INDEX PORTFOLIO JANUARY 1, 2001 THROUGH MARCH 31, 2001 Corning, Inc. 11/2/00 (i) yes Goldman Sachs & co. 4,600 $71.25 0.002% ENDEAVOR ASSET ALLOCATION PORTFOLIO JANUARY 1, 2001 THROUGH MARCH 31, 2001 Riverstone Networks 2/15/01 (i) Yes JP Morgan 200 $12.00 0.05% KPMG Consulting 2/7/01 (i) Yes Bear Stearns 7,700 $118.00 0.17% ENDEAVOR ENHANCED INDEX PORTFOLIO APRIL 1, 2001 THROUGH JUNE 30, 2001 Kraft Foods Inc. 6/12/01 (i) yes C. S. First Boston 4,100 $31.00 Less than 0.01% ENDEAVOR ASSET ALLOCATION PORTFOLIO APRIL 1, 2001 THROUGH JUNE 30, 2001 Odyssey Re Holdings 6/13/01 (i) yes JP Morgan Chase 8,100 $18.00 1.28% Kraft Foods 6/12/01 (i) yes Wasserstein Parella 52,700 $31.00 0.53% Willis Group Holdings 6/11/01 (i) yes Salomon Smith Barney 5,400 $13.50 0.75% Peabody Energy Corp. 5/21/01 (i) yes Lehman Bros. 6,100 $28.00 1.16% Tellium Inc. 5/17/01 (i) yes Thomas Weisel Partners 400 $15.00 0.12% (1) Securities are (i) part of an issue registered under the Securities Act of 1933 (the "1933 Act") that is being offered to the public, (ii) Eligible Municipal Securities (as defined in Rule 10f-3 under the 1940 Act (the "Rule")), (iii) securities sold in an Eligible Foreign Offering (as defined in the Rule) or (iv) securities sold in an Eligible Rule 144A Offering (as defined in the Rule.) (2) Represents purchases by all affiliated funds: may not exceed (i) if an offering other than an Eligible Rule 144A offering, 25% of the principal amount of the offering or (ii) if an Eligible Rule 144A offering, 25% of the total of (x) the principal amount of the offering of such class sold by underwriters or members of the selling syndicate to Qualified Institutional Buyers, as defined in Rule 144A (a)(1) under the 1933 Act, plus (y) the principal amount of the offering of such class in any concurrent public offering.